Our Staff has compiled our research into a database of FINRA Broker Disclosures for Royal Alliance Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Stephen Xavier Carroll | 2591398 | 1 | 02/02/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harry A Kent | 4212928 | 1 | 01/27/2006 | Customer Dispute | Denied | $126,000.00 | $0.00 | See FINRA Report |
| Hilary Elizabeth O'Malley | 2314563 | 4 | 01/23/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John A Kendall | 863374 | 3 | 01/20/2006 | Customer Dispute | Denied | $10,705.00 | $0.00 | See FINRA Report |
| Jason Michael Pott | 5611609 | 1 | 01/20/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Herman Duren | 73923 | 1 | 01/04/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David George Martin | 321111 | 10 | 01/03/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marc Gregory Minor | 2230271 | 5 | 12/19/2005 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Steven Bert Tucker | 2162015 | 3 | 12/19/2005 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Glen Allen Clemans | 1618828 | 2 | 12/19/2005 | Customer Dispute | Settled | $129,030.00 | $0.00 | See FINRA Report |